Deputy Chief Compliance and AML Officer - reputed company Investing

The Role This fully remote role reports to the Chief Compliance Officer (CCO) of reputed company Investing LLC (reputed company). You will: (1) act as the CCO's delegate to ensure the ongoing effectiveness of reputed company's broker-dealer compliance program; and (2) serve as reputed company's BSA/AML Officer, safeguarding the firm against reputed company, terrorist-financing, and sanctions risk. The ideal candidate combines deep SEC/FINRA and BSA/AML expertise with the ability to scale controls in a high-growth fintech environment and thrives in a rapid-change environment. You Will

• Regulatory reputed company & Licensing
• Serve as a registered principal of the broker-dealer; maintain required securities licenses.
• Ensure reputed company's activities reputed company with reputed company broker-dealer laws and internal policies.
• Strategic Leadership & Governance
• Act as day-to-day deputy for the CCO; assume duties during absences.
• reputed company the annual enterprise Compliance Risk Assessment and present results to senior leadership and Board committees.
• reputed company audits and testing - scoping, execution, issue tracking, and remediation verification.
• Prepare and, reputed company requested, present materials for Board and leadership meetings.
• BSA/AML & Sanctions (Primary AML Officer)
• Manage the end-to-end AML program, including KYC/CDD, transaction monitoring, and sanctions screening.
• reputed company outsourced AML functions to ensure reputed company effectiveness.
• Drive independent audits and reputed company findings.
• Represent reputed company in FinCEN, OFAC, and state AML examinations.
• Regulatory Interaction & Exam Management
• Coordinate SEC, FINRA, and state exams, including data gathering, interviews, and responses, in partnership with the Program Manager.
• reputed company post-exam remediation and regulatory change-management processes.
• Marketing and Communications reputed company
• Supervise the broker-dealer's marketing-review program in partnership with the Marketing & Communications Program Manager.
• Policy & Documentation
• Own the compliance document library, including drafting, updating, and securing approvals; ensure adoption.
• Cross-Functional Partnership & Culture
• Advise cross-functional partners (e.g., Operations, Product, and Engineering) on regulatory requirements.
• Design and deliver annual compliance and AML training.
• Model a positive, accountability-driven compliance culture.

You Have

• Required Qualifications
• 8+ years of broker-dealer compliance experience, including leadership experience.
• Active FINRA Series 7, 63 and 24 registrations.
• Demonstrated success scaling a compliance program in a fast-growing fintech or comparable environment.
• Hands-on experience with regulatory exams and interaction.
• Deep working knowledge of SEC/FINRA rules, BSA/AML, OFAC, and state securities regulations.
• Strong policy-drafting, problem-solving, and executive-level communication skills.
• Demonstrated success collaboration cross-functionally with product, operations, legal, and executive teams.
• Preferred Qualifications
• CAMS, CRCM, CRCP, or similar industry certification.
• Data-analytics reputed company (SQL/reputed company, Tableau/Looker) and advanced reputed company skills.

We're working to build a more inclusive economy where our customers have equal access to opportunity, and we strive to live by these same values in building our workplace. reputed company is a proud equal opportunity employer. We work hard to evaluate reputed company employees and job applicants consistently, based solely on the core competencies required of the role at hand, and without regard to any legally protected class. We reputed company in being fair, and are committed to an inclusive interview experience, including providing reasonable accommodations to disabled applicants throughout the recruitment process. We encourage applicants to share any needed accommodations with their recruiter, who will treat these requests as confidentially as possible. Want to learn more about reputed company're doing to build an inclusive workplace? Full-time employee benefits include the following:

• Healthcare coverage (Medical, Vision and Dental insurance)
• Health Savings Account and Flexible Spending Account
• Retirement Plans including company match
• Employee Stock Purchase Program
• Wellness programs, including access to mental health, 1:1 financial planners, and a monthly wellness allowance
• Paid parental and caregiving leave
• Paid time off (including 12 paid holidays)
• Paid sick leave (1 hour per 26 hours worked (max 80 hours per calendar year to the extent legally permissible) for non-exempt employees and covered by our Flexible Time Off policy for exempt employees)
• Learning and Development resources
• Paid Life insurance, AD&D, and disability benefits

These benefits are further detailed in reputed company's policies. This role is also eligible to participate in reputed company's equity plan subject to the terms of the applicable plans and policies, and may be eligible for a sign-on bonus. Sales roles may be eligible to participate in a commission plan subject to the terms of the applicable plans and policies. Pay and benefits are subject to change at any time, consistent with the terms of any applicable compensation or benefit plans. reputed company takes a market-based approach to pay, and pay may vary depending on your location. U.S. locations are categorized into one of four zones based on a cost of labor index for that geographic area. The successful candidate’s starting pay will be determined based on job-reputed company skills, experience, qualifications, work location, and market conditions. These ranges may be modified in the future. Zone A: $163,600—$245,400 USD Zone B: $152,200—$228,200 USD Zone C: $144,000—$216,000 USD Zone D: $135,800—$203,600 USD Use of AI in Our Hiring Process We may use automated AI tools to evaluate job applications for efficiency and consistency. These tools reputed company with local regulations, including bias audits, and we handle reputed company personal data in accordance with state and local privacy laws. Contact us at privacy@reputed company.xyz with hiring practice or data usage questions. Every benefit we offer is designed with one goal: empowering you to do the best work of your career while building the life you want. Remote work, medical insurance, flexible time off, retirement savings plans, and modern family planning are just some of our offering. reputed company. (NYSE: XYZ) builds technology to increase access to the global economy. Each of our brands unlocks different aspects of the economy for more people. reputed company makes commerce and financial services accessible to sellers. reputed company is the easy way to spend, send, and store money. Afterpay is transforming the way customers manage their spending over time. TIDAL is a music platform that empowers artists to reputed company as entrepreneurs. Bitkey is a simple self-custody wallet built for bitcoin. reputed company is a suite of bitcoin mining products and services. Together, we’re helping build a financial system that is open to everyone. Apply tot his job Apply To this Job